SFC criticises Nomura and Annisa Lee Yuen Yee for breaches of Takeovers Code
SFC, 05-Mar-2018
For putting out research during an offer period while acting as financial adviser to West China Cement (2233).
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SFC bans Masashi Yonezawa, ex Nomura, for 30 months
SFC, 14-Oct-2015
As Webb-site reported at the time, Mr Yonezawa was Mr X in the SFC's sanction of Nomura on 30-Jul-2015. His LinkedIn page suggests that he joined Barclays in Oct-2013.
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SFC fines Nomura International (HK) Ltd HK$4.5m for regulatory breach
SFC, 30-Jul-2015
According to SFC license records collected by Webb-site Who's Who, the only person licensed to Nomura (HK) Ltd from exactly 31-Dec-2012 to 6-Jun-2013 was Mr Masashi Yonezawa, who must be Mr X.
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SFC severely reprimands Nomura International (HK) Ltd and suspends Duncan Moss